Materials — Securities Enforcement Forum West 2019

Materials by Panel

Panel 1: Cybersecurity Disclosure and Enforcement: Will the SEC Drop the Hammer in 2019?

Panel 2:  Silicon Valley Spotlight: Regulation, Enforcement and Prosecution Trends

Panel 3: Financial Disclosure and Accounting Fraud

  1. SEC Financial Reporting and Audit (FRAud) Group
  2. The SEC Enforcement Division’s Focus on Auditors and Auditing
  3. SEC Enforcement in Financial Reporting and Disclosure—2018 Year-End Update
  4. SEC Speech —Pondering Financial Reporting: Remarks before the 2018 Leet Business Law Symposium

Panel 4: Financial Firm Spotlight — Enforcement and Regulatory Developments for Asset Managers, Broker-Dealers, Hedge Funds and More

  1. SEC Examination Priorities for 2019
  2. FINRA 2019 Annual Risk Monitoring and Examination Priorities Letter
  3. New York State Cybersecurity Regulations: First milestone in sight, what is next on the horizon?
  4. SEC Required Recordkeeping in an Evolving Privacy Landscape
  5. SEC OCIE Issues Guidance on Advisers’ Recordkeeping Requirements for Electronic Messaging Following Its Sweep Examination
  6. Social media compliance for investment advisers
  7. SEC Warns Registered Firms about Client Privacy and Data Security

Panel 5: Big Data, A.I., and the Evolving Role of Technology in Conducting Internal Investigations and Prosecuting and Defending Securities Fraud Cases

Panel 6: Director’s Panel

  1. SEC Enforcement Annual Report for FY 2018
  2. 2018 Year-End Securities Enforcement Update
  3. Speech by Stephanie Avakian, Co-Director, Division of Enforcement: Measuring the Impact of the SEC’s Enforcement Program (Sept. 2018)
  4. How SEC Enforcement is Getting Back to Basics
  5. SEC Increases Enforcement Activity in 2018, Shifting Focus to Offering Frauds and Investment Advisers
  6. High Court Extends Reach Of Securities Fraud Rule 10b-5
  7. The SEC/Musk/Tesla Settlement: The Dawning of a New Era of SEC Internet Enforcement
  8. 2019 CCO survey: Insights for the future of ethics & compliance
Panel 7: Foreign Corrupt Practices Act Trends and Developments 
  1. SEC Enforcement Actions: FCPA Cases
  2. FCPA: Sets a High Bar for Compliance
  3. 2018 Year-End FCPA Update
  4. SEC FCPA Enforcement – 2018 Year In Review
  5. DOJ Clarifies Expanded Scope of FCPA Corporate Enforcement Policy In Effort to Further Partner With Business

Panel 8: Cryptocurrency Regulation, Enforcement and Litigation: One Year Later

Panel 9: Insider Trading Trends and Whistleblower Update

  1. SEC Office of the Whistleblower
  2. SEC’s 2018 Annual Report on the Dodd-Frank Whistleblower Program
  3. SEC Awards $50 Million to Two Whistleblowers
  4. SEC Whistleblower Program Has Record-Breaking Year
  5. SEC Charges Former Senior Attorney at Apple With Insider Trading
  6. Insider Trading Annual Review 2018
  7. Bharara Task Force on Insider Trading
  8. Past, Present, and Future: Insider Trading’s Personal Benefit Test After Martoma, Gupta, and Other Recent Cases
  9. “Meaningfully Close Personal Relationship” Test Survives, But Perhaps in Name Only: Second Circuit Waters Down Newman’s Test


When: Tuesday, May 12, 2020
8:15 am - 5:30 pm
Where: Virtual (online only)
CLE Credit:
6.0 hours (pending)

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